Code of Federal Regulations: Containing a Codification of Documents of General Applicability and Future Effect as of December 31, 1948, with Ancillaries and IndexDivision of the Federal Register, the National Archives, 2002 - Administrative law Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
From inside the book
Results 1-5 of 100
Page 8
... limited exemptions , such as gov- ernment securities , non - public offer- ings , and intrastate offerings . ) The ef- fectiveness of a registration statement may be refused or suspended after a hearing if the statement contains ma ...
... limited exemptions , such as gov- ernment securities , non - public offer- ings , and intrastate offerings . ) The ef- fectiveness of a registration statement may be refused or suspended after a hearing if the statement contains ma ...
Page 14
... limited , to : ( a ) Agency work methods and proce- dures ; ( b ) Effective personnel and resource allocation and utilization ; ( c ) Organizational structures and del- egations of authority ; ( d ) Management information systems and ...
... limited , to : ( a ) Agency work methods and proce- dures ; ( b ) Effective personnel and resource allocation and utilization ; ( c ) Organizational structures and del- egations of authority ; ( d ) Management information systems and ...
Page 20
... limited to : ( a ) Presenting seminars and instruc- tional programs to educate investors about the securities markets and their rights as investors ; preparing and dis- tributing to the public materials de- scribing the operations of ...
... limited to : ( a ) Presenting seminars and instruc- tional programs to educate investors about the securities markets and their rights as investors ; preparing and dis- tributing to the public materials de- scribing the operations of ...
Page 31
... limited volume ; ( ii ) To publish amendments to an ap- plication for registration as a national securities exchange , or for exemption from registration based on limited vol- ume ; and ( iii ) To extend deadlines for submis- sion of ...
... limited volume ; ( ii ) To publish amendments to an ap- plication for registration as a national securities exchange , or for exemption from registration based on limited vol- ume ; and ( iii ) To extend deadlines for submis- sion of ...
Page 56
... limited to : ( i ) Operation rules , guidelines , and manuals of procedure for investigators , attorneys , accountants , and other em- ployees other than those which estab- lish legal requirements to which mem- bers of the public are ...
... limited to : ( i ) Operation rules , guidelines , and manuals of procedure for investigators , attorneys , accountants , and other em- ployees other than those which estab- lish legal requirements to which mem- bers of the public are ...
Other editions - View all
Common terms and phrases
48 Stat accounting affiliate agency aggregate amount applicable Arthur Andersen LLP assets audit client balance sheet cash chapter cial clude column Commis Commission Commission's compensation copy Counsel curities dealer debt deemed Director disclosed disclosure dividends document effective date employee entity equity erwise exemption Federal fees financial statements fiscal Form hearing officer income income statement interest Investment Company Act investors issuance issued istered istrant istration statement Item market risk material ment options party period person post-effective amendment preferred stock prior proceeding prospectus purchase pursuant to Rule pursuant to section quired record registrant's registration statement Regulation repurchase agreements request respect rities roll-up transaction schedule secu Securities Act Securities Exchange Act security holders sion small business issuer spectus suant subpart subsidiaries term thereof underwriter unit investment trust
Popular passages
Page 162 - Witnesses summoned before the Board, its member, agent, or agency, shall be paid the same fees and mileage that are paid witnesses in the courts of the United States, and witnesses whose depositions are taken and the persons taking the same shall severally be entitled to the same fees as are paid for like services in the courts of the United States.
Page 220 - ... under common control with, the person specified. (b) Control. The term "control" (including the terms "controlling", "controlled by" and "under common control with") means the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a person, whether through the ownership of voting securities, by contract...
Page 489 - Any security which is a part of an issue offered and sold only to persons resident within a single State or Territory, where the issuer of such security is a person resident and doing business within, or, if a corporation, incorporated by and doing business within, such State or Territory.
Page 477 - underwriter" means any person who has purchased from an issuer with a view to, or offers or sells for an issuer in connection with, the distribution of any security, or participates or has a direct or indirect participation in any such undertaking, or participates or has a participation in the direct or indirect underwriting of any such undertaking; but such term shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess of the usual and customary...
Page 28 - For the purpose of any such investigation, or any other proceeding under this title, any member of the Commission or any officer designated by it is empowered to administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, or other records which the Commission deems relevant or material to the inquiry.
Page 120 - ... particular matter in which, to his knowledge, he, his spouse, minor child, partner, organization in which he is serving as officer, director, trustee, partner or employee, or any person or organization with whom he is negotiating or has any arrangement concerning prospective employment, has a financial interest — Shall be fined not more than $10,000, or imprisoned not more than two years, or both.
Page 221 - equity security" means any stock or similar security; or any security convertible, with or without consideration, into such a security, or carrying any warrant or right to subscribe to or purchase such a security; or any such warrant or right; or any other security which the...
Page 27 - For the purpose of any investigation or any other proceeding under this act, any member of the Commission, or any officer designated by it, is empowered to administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, contracts, agreements, or other records which the Commission finds relevant or material to the inquiry.
Page 151 - ... to the best of the signer's knowledge, information, and belief formed after reasonable inquiry it is well grounded in fact and is warranted by existing law or a good faith argument for the extension, modification, or reversal of existing law, and that it is not interposed for any improper purpose, such as to harass or to cause unnecessary delay or needless increase in the cost of litigation.
Page 50 - ... or coerce others to patronize or contribute, either to the success of private business ventures, or to charitable enterprises. He should, therefore, not enter into such private business, or pursue such a course of conduct, as would justify such suspicion, nor use the power of his office or the influence of his name to promote the business interests of others...